Raymond James Adds 2 Ex-Wells Fargo Teams
This news follows the successful recruiting of groups from Merrill Lynch, JPMorgan and Stifel Nicholaus.
How America Is Kicking Its Oil Habit
The U.S. is producing the most oil in 31 years, growth is accelerating and crude prices are plunging. So why is Americans’ petroleum use waning?
Jack Bogle: Investing Outside U.S. Not Worth the Risk
Also, Bogle says role of advisors should be to keep clients from making bad investment choices.
FINRA Proposes Pay-to-Play Rules
FINRA is requesting comments on its plan to establish pay-to-play type rules for BDs that closely mirror SEC ones.
Focus Adds $1.4B RIA in Chicago Area
Meanwhile, Securities America recruits three FAs, one from Wells Fargo and another from LPL Financial.
10 Poorest Members of Congress: 2014
As midterm elections near, it's good to know which legislators have the least amount of money, and if it means they are more effective legislators.
House Dems Call for SEC Crackdown on Corporate Anti-Whistleblower Practices
Lawmakers say “overly restrictive nondisclosure agreements,” for example, threaten the SEC's whistleblower program.
ASPPA Names Keck President
Kyla Keck, a principal of SageView Retirement Plan Consultants and SageView Advisory Group in Knoxville, Tennessee, named ASPPA's new president at annual conference.
Starting Over When a Nest Egg Is Gone
Losing a retirement portfolio is devastating—but recovery is possible, with the right financial advice.
Focus Financial Strikes 6 Merger Deals for Partners
One advisor acquisition came about through a discussion about succession planning, an executive says.